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Carolyn Ruth Piasecki

National Financial Services LLC

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About Carolyn Ruth Piasecki

Carolyn Piasecki is a financial advisor with National Financial Services LLC in Smithfield, Rhode Island. Carolyn has been in the securities industry since 1998 and is licensed to provide investment advice and securities products. She has passed the Series 6, Series 7, and Series 63 exams, as well as the Securities Industry Essentials (SIE) exam. Previously, Carolyn worked for Fidelity Brokerage Services LLC and MetLife Securities Inc. Carolyn is dedicated to helping her clients achieve their financial goals.

Firm Information

Carolyn Piasecki is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carolyn Piasecki’s Registration & Firm History

RI

07/16/2021 - Present

National Financial Services LLC (SMITHFIELD RI)

RI

06/13/2018 - 06/09/2021

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

04/19/2007 - 05/07/2018

NATIONAL FINANCIAL SERVICES LLC (SMITHFIELD RI)

RI

03/30/2001 - 12/07/2006

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

07/14/1997 - 11/21/2000

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

07/14/1997 - 11/21/2000

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/11/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/04/2001

Series 7 - General Securities Representative Examination

BC

Issued 07/03/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolyn Ruth Piasecki.
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